Caterpillar executive has 337 shares withheld for taxes

Caterpillar Group President Anthony D. Fassino reported a tax-related share disposition.

Accepted by SEC EDGAR 03/04/2026 - 06:13 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Caterpillar Group President Anthony D. Fassino reported a tax-related share disposition. On March 3, 2026, 337 shares of Caterpillar common stock were withheld at $719.13 per share to cover taxes from vesting restricted stock units granted March 3, 2025. After this tax-withholding disposition, he directly owned 46,387 shares, and indirectly held 1,501 shares through a 401(k) plan based on a statement as of February 28, 2026.

Insider Trade Summary

Exercise Price or Tax Liability: 337 shares

Exercise Price or Tax Liability 1 txn

Insider Fassino Anthony D.

Role Group President

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	337	$719.13	$242K
Holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 46,387 shares (Direct); Common Stock — 1,501 shares (Indirect, Held by 401(k) Plan)

Holdings Before and After: Common Stock, 46,724 to 46,387 shares (Direct)

Footnotes (3)

1. F1. Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 3, 2025.
2. F2. Includes adjustments for dividends accrued.
3. F3. The information in this report is based on a 401(k) plan statement as of February 28, 2026.

FAQ

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What insider transaction did Caterpillar (CAT) disclose for Anthony D. Fassino?

Caterpillar disclosed that Group President Anthony D. Fassino had 337 shares of common stock withheld on March 3, 2026 to satisfy tax obligations from vested restricted stock units granted March 3, 2025, rather than executing an open-market stock sale.

How many Caterpillar (CAT) shares were involved in Anthony Fassino’s tax-withholding disposition?

The filing shows 337 Caterpillar common shares were withheld at a price of $719.13 per share. These shares were used to cover tax obligations triggered by the vesting of restricted stock units granted to Anthony Fassino on March 3, 2025.

How many Caterpillar (CAT) shares does Anthony Fassino own after this Form 4 transaction?

After the tax-withholding disposition, Anthony Fassino directly owned 46,387 Caterpillar common shares. The Form 4 also reports an additional 1,501 shares held indirectly through a 401(k) plan, based on a plan statement dated February 28, 2026.

Was Anthony Fassino’s Caterpillar (CAT) Form 4 transaction an open-market sale?

No, the transaction was coded “F,” indicating shares were withheld to pay taxes. The filing specifies it was a tax-withholding disposition related to vesting restricted stock units, not a discretionary open-market sale of Caterpillar shares by Anthony Fassino.

What does the Caterpillar (CAT) Form 4 say about Anthony Fassino’s 401(k) holdings?

The Form 4 reports 1,501 Caterpillar common shares held indirectly through a 401(k) plan. A footnote explains this information is based on a 401(k) plan statement as of February 28, 2026, and includes adjustments for dividends accrued within the plan.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Fassino Anthony D.

(Last) (First) (Middle)

5205 N. O'CONNOR BOULEVARD, SUITE 100

(Street)

IRVING TX 75039

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
CATERPILLAR INC [ CAT ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Group President

3. Date of Earliest Transaction (Month/Day/Year)
03/03/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	03/03/2026		F		337(1)	D	$719.13	46,387(2)	D
Common Stock								1,501	I	Held by 401(k) Plan(3)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 3, 2025.

2. Includes adjustments for dividends accrued.

3. The information in this report is based on a 401(k) plan statement as of February 28, 2026.

	/s/ Nicole Puza, POA for Anthony Fassino	03/04/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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